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How to use or fill out Illinois FINRA Act Form with our platform
- Click ‘Get Form’ to open the Illinois FINRA Act form in the editor.
- Begin by filling out the 'Form BD' section, ensuring you include your $600 filing fee and $150 for each agent. This is crucial for registration as a securities dealer.
- Next, complete the 'Form BR' for branch office registration, listing each branch located in Illinois and including a $20 fee for each office.
- Prepare and upload your balance sheet, which must be dated within 60 days of filing. Ensure it includes all assets and liabilities, along with a net capital computation signed by an authorized individual.
- Provide proof of passing the FINRA principal examination for responsible officers. If this information isn't available through the CRD system, submit it directly to the Illinois Securities Department.
- Fill out additional required information as specified in Section 130.810(b)(3)-(5) and (7), including details about designated principals and net capital requirements.
- Finally, complete 'Form U-4' for salesperson registration, ensuring compliance with examination requirements and submitting a $150 fee.
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What is the FINRA form?
Also known as the Financial Industry Regulatory Authoritys (FINRA) Uniform Application for Securities Industry Registration or Transfer. A form used by broker-dealers to register associated persons with FINRA and in other applicable jurisdictions and self-regulatory organizations.
Who is responsible for filing a U5?
U5 is an abbreviation for children under the age of 5 years and U10 means children under the age of 10 years.
What is the form U5?
GENERAL INSTRUCTIONS. The Form U5 is the Uniform Termination Notice for Securities Industry Registration. Broker-dealers, investment advisers, or issuers of securities must use this form to terminate the registration of an individual in the appropriate jurisdictions and/or self-regulatory organizations (SROs).
What is a U5 form used for?
The Form U5 is the Uniform Termination Notice for Securities Industry Registration. Broker-dealers, investment advisers, or issuers of securities must use this form to terminate the registration of an individual in the appropriate jurisdictions and/or self-regulatory organizations (SROs).
What is a U4 record?
The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.
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What is the difference between U4 and U5 forms?
While Form U4 is filed when an employee joins a broker-dealer, Form U5 is used when a registered representative leaves the firm. Form U5s full name is the Uniform Termination Notice for Securities Industry Registration. The function of Form U4 is to associate an individual with a particular firm.
When should a U5 be filed?
The responsibility to fill out the U5 form falls on the financial firm the employee is leaving. This could be a broker-dealer or an investment advisory firm. Its vital that they provide accurate and complete information. Inaccuracies can cause problems for both the firm and the former employee.
